Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
Summary
SIFMA provides comments to the Chief Economist and Director of Policy and Research at the Employee Benefits Security Administration (EBSA) with additional information regarding the cost estimates contained within Deloitte’s Report on the Anticipated Operational Impacts to Broker Dealers of the Department of Labor’s (DOL) Proposed Conflicts of Interest Rule Package.
See Also:
United States Department of Labor: Conflict of Interest Proposed Rule
See Also:
- The Fiduciary Rule Itself
- Best Interest Contract Exemption (BIC exemption)
- Principal Transactions
- Prohibited Transaction Class Exemption (“PTCE”) 86-128
- Prohibited Transaction Class Exemption (“PTCE”) 84-24
- Prohibited Transaction Class Exemption (“PTCE”) 75-1, Part V
- Additional Exemptions
- Asset Management Group
- NERA Analysis: Comment on the Department of Labor Proposal and Regulatory Impact Analysis
- Deloitte Report on the Anticipated Operational Impacts to Broker-Dealers of the Department of Labor’s Proposed Conflicts of Interest Rule Package
- NERA Memo to SIFMA: Answers to Questions Regarding NERA’s “Comment on the Department of Labor Proposal and Regulatory Impact”
- SIFMA Submits Comments to EBSA Regarding Questions on Deloitte’s Report on the Anticipated Operational Impacts to BDs of the DOL Fiduciary Rule Proposal
- SIFMA Submits Supplemental Comments to EBSA in Regards to the DOL’s Fiduciary Rule Proposal (Follow-up to August Hearing)
More Submissions
Type:
Australia Public Country-by-Country Reporting Regime
SIFMA AMG, Investment Company Institute (ICI), American Chamber of Commerce in Australia (AmCham Australia), Information Technology Industry Council (ITI), Managed…
Type:
Confirmation Letter Related to the UST Clearing Working Group’s Accounting Treatment for UST Repo Transactions Cleared Through FICC White Paper
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…